Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 02, 2012 Filed Mar 6, 2012 22:31 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
Exercise / conversionRestricted Stock Units · Derivative | 4,449 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000115 · edgar.xml · derivative · entry 4 BUDA JAMES B · CIK 0001171771 · Sr. VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 4,449 shares Expires 2012-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:31 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
Tax withholdingCommon | 1,845 | $112.87 | $208,245.15 |
DisclosureSEC source: 0000018230-12-000115 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · Sr. VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,318 F3 · kind: Amount reflects shares surrendered to satisfy tax withholding requirements upon the vesting of restricted stock units. F1 · balance_after: This amount includes 3312 shares in dividend reinvestment. F2 · balance_after: Includes 9580 shares previously owned indirectly through Caterpillar's 401k plan. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:31 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
Exercise / conversionCommon | 4,449 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000115 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Sr. VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,163 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · kind: Represents the vesting of restricted stock units granted to the reporting person on March 2, 2009. F4 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F1 · balance_after: This amount includes 3312 shares in dividend reinvestment. F2 · balance_after: Includes 9580 shares previously owned indirectly through Caterpillar's 401k plan. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:32 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionRestricted Stock Units · Derivative | 6,925 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000117 · edgar.xml · derivative · entry 2 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 6,925 shares Expires 2012-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. Read SEC document |
| March 02, 2012 Filed Mar 6, 2012 22:32 UTC |
VITTECOQ GERARD RGroup President
|
Exercise / conversionCommon | 6,925 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000117 · edgar.xml · nonDerivative · entry 1 VITTECOQ GERARD R · CIK 0001171778 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,126 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Represents the vesting of restricted stock units granted to the reporting person on March 2, 2009. F2 · price: Each restricted stock unit represents the equivalent of one share of Caterpillar Inc. common stock. On March 2, 2012, the reporting person's restricted stock units were setted for an equal number of shares of Caterpillar Inc. common stock. F3 · balance_after: Included in this amount are 40,718 shares in EIP and 209 shares in dividend reinvestment. Read SEC document |
| March 01, 2012 Filed Mar 2, 2012 20:08 UTC |
LAVIN RICHARD PGroup President
|
SaleCommon | 2,000 | $114.39 | $228,780.00 |
DisclosureSEC source: 0000018230-12-000097 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,128 F1 · balance_after: This amount includes 355 shares in dividend reinvestment. F2 · balance_after: Includes 14197 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document |
| February 29, 2012 Filed Mar 1, 2012 16:11 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 26 | $115.04 | $2,991.04 |
DisclosureSEC source: 0000018230-12-000077 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,685 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 870 shares in dividend reinvestment. Read SEC document |
| February 29, 2012 Filed Mar 1, 2012 16:13 UTC |
FIFE EUGENE VDirector
|
GrantCommon | 119 | $115.04 | $13,689.76 |
DisclosureSEC source: 0000018230-12-000079 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,331 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| February 29, 2012 Filed Mar 2, 2012 19:32 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 184 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000081 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,109 Underlying: Common · 184 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in February 2012 on the basis of the issuer's common stock price, 75 units at a price of $115.41 and 109 units at a price of $115.04, per unit. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| February 29, 2012 Filed Mar 2, 2012 19:36 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 108 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000083 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221 Underlying: Common · 108 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in February 2012 on the basis of the issuer's common stock price, 108 units at a price of $115.04, per unit. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| February 29, 2012 Filed Mar 2, 2012 19:39 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 112 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000085 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,177 Underlying: Common · 112 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in February 2012 on the basis of the issuer's common stock price, 4 units at a price of $115.41 and 108 units at a price of $115.04, per unit. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| February 29, 2012 Filed Mar 2, 2012 19:43 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 327 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000087 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,654 Underlying: Common · 327 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in February 2012 on the basis of the issuer's common stock price, 204 units at a price of $115.41 and 123 units at a price of $115.04, per unit. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| February 29, 2012 Filed Mar 2, 2012 19:47 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 160 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000089 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,193 Underlying: Common · 160 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in February 2012 on the basis of the issuer's common stock price, 51 units at a price of $115.41 and 109 units at a price of $115.04, per unit. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| February 29, 2012 Filed Mar 2, 2012 19:52 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 54 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000091 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110 Underlying: Common · 54 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in February 2012 on the basis of the issuer's common stock price, 54 units at a price of $115.04, per unit. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| February 29, 2012 Filed Mar 2, 2012 19:54 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 164 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000093 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,290 Underlying: Common · 164 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F3 · price: The units were valued in February 2012 on the basis of the issuer's common stock price, 56 units at a price of $115.41 and 108 units at a price of $115.04, per unit. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| February 29, 2012 Filed Mar 2, 2012 19:57 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 210 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000018230-12-000095 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,765 Underlying: Common · 210 shares Expires not disclosed F2 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · price: The units were valued in February 2012 on the basis of the issuer's common stock price, 101 units at a price of $115.41 and 109 units at a price of $115.04, per unit. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| February 29, 2012 Filed Mar 2, 2012 20:08 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 35 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000097 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,109 Underlying: Common · 35 shares Expires not disclosed F3 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock. F4 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement. F4 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled 100% in cash upon the reporting person's retirement. Read SEC document |
| February 27, 2012 Filed Mar 1, 2012 16:01 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon | 210 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000075 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 1,161 F2 · kind: This transaction involved a gift of securities by the reporting person. F3 · ownership.nature: Reporting person disclaims beneficial ownership. Read SEC document |
| February 27, 2012 Filed Mar 1, 2012 16:01 UTC |
WUNNING STEVEN HGroup President
|
GiftCommon | 945 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000075 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,372 F1 · balance_after: This amount includes 25152 shares in 401K. Read SEC document |
| February 21, 2012 Filed Feb 21, 2012 21:17 UTC |
LAVIN RICHARD PGroup President
|
SaleCommon | 7,000 | $114.73 | $803,110.00 |
DisclosureSEC source: 0000018230-12-000069 · edgar.xml · nonDerivative · entry 1 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,048 F1 · balance_after: This amount includes 14,171 shares in 401K and 301 shares in dividend reinvestment. Read SEC document |
| February 21, 2012 Filed Feb 23, 2012 21:11 UTC |
RAPP EDWARD JCFO & Group President
|
Exercise / conversionEmployee Stock Option · Derivative | 27,000 | $115.00 Strike: $27.14 | $3,105,000.00 |
DisclosureSEC source: 0000018230-12-000072 · edgar.xml · derivative · entry 3 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common · 27,000 shares Expires 2013-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| February 21, 2012 Filed Feb 23, 2012 21:11 UTC |
RAPP EDWARD JCFO & Group President
|
SaleCommon | 27,000 | $115.00 | $3,105,000.00 |
DisclosureSEC source: 0000018230-12-000072 · edgar.xml · nonDerivative · entry 2 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,293 F1 · balance_after: This amount includes 2283 shares in 401K. F2 · balance_after: Includes 11,672 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document |
| February 21, 2012 Filed Feb 23, 2012 21:11 UTC |
RAPP EDWARD JCFO & Group President
|
Exercise / conversionCommon | 27,000 | $27.14 | $732,847.50 |
DisclosureSEC source: 0000018230-12-000072 · edgar.xml · nonDerivative · entry 1 RAPP EDWARD J · CIK 0001171780 · CFO & Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,293 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amount includes 2283 shares in 401K. F2 · balance_after: Includes 11,672 shares previously owned indirectly through Caterpillar's 401(k) plan. Read SEC document |
| February 21, 2012 Filed Feb 23, 2012 21:11 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
Exercise / conversionEmployee Stock Option · Derivative | 54,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0000018230-12-000073 · edgar.xml · derivative · entry 3 BUDA JAMES B · CIK 0001171771 · Sr. VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 54,000 shares Expires 2013-06-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| February 21, 2012 Filed Feb 23, 2012 21:11 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
SaleCommon | 54,000 | $115.00 | $6,210,000.00 |
DisclosureSEC source: 0000018230-12-000073 · edgar.xml · nonDerivative · entry 2 BUDA JAMES B · CIK 0001171771 · Sr. VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,714 F1 · balance_after: This amount includes 3312 shares in dividend reinvestment. F2 · balance_after: Includes 9580 shares previously owned indirectly through Caterpillar's 401k plan. Read SEC document |
| February 21, 2012 Filed Feb 23, 2012 21:11 UTC |
BUDA JAMES BSr. VP & Chief Legal Officer
|
Exercise / conversionCommon | 54,000 | $27.14 | $1,465,695.00 |
DisclosureSEC source: 0000018230-12-000073 · edgar.xml · nonDerivative · entry 1 BUDA JAMES B · CIK 0001171771 · Sr. VP & Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,714 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amount includes 3312 shares in dividend reinvestment. F2 · balance_after: Includes 9580 shares previously owned indirectly through Caterpillar's 401k plan. Read SEC document |
| February 07, 2012 Filed Feb 8, 2012 22:07 UTC |
FIFE EUGENE VDirector
|
PurchaseCommon | 1,000 | $113.05 | $113,050.00 |
DisclosureSEC source: 0000018230-12-000062 · edgar.xml · nonDerivative · entry 2 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Wife Disclosed balance after: 1,000 Read SEC document |
| February 06, 2012 Filed Feb 8, 2012 22:33 UTC |
LEVENICK STUART LGroup President
|
OtherPhantom Stock Units · Derivative | 15,552 | $113.78 | $1,769,506.56 |
DisclosureSEC source: 0000018230-12-000064 · edgar.xml · derivative · entry 3 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 15,552 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F4 · kind: Shares of phantom stock transferred by the reporting person from the Caterpillar Share Equivalency Account into an alternative investment account. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| February 06, 2012 Filed Feb 8, 2012 22:33 UTC |
LEVENICK STUART LGroup President
|
GrantPhantom Stock Units · Derivative | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000064 · edgar.xml · derivative · entry 2 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,552 Underlying: Common · 300 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| February 06, 2012 Filed Feb 8, 2012 22:33 UTC |
LEVENICK STUART LGroup President
|
OtherCommon | 4,487 | $113.78 | $510,530.86 |
DisclosureSEC source: 0000018230-12-000064 · edgar.xml · nonDerivative · entry 1 LEVENICK STUART L · CIK 0001171796 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,137 F5 · shares: Represents transfer out of Caterpillar Stock in 401(k) account. F1 · balance_after: Includes 19 shares acquired under Caterpillar 401(k) plan Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 21:42 UTC |
SCHWAB SUSAN CDirector
|
GrantCommon · Derivative | 113 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000033 · edgar.xml · derivative · entry 2 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113 Underlying: Common · 113 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 21:44 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 114 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000035 · edgar.xml · derivative · entry 3 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,065 Underlying: Common · 114 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 21:45 UTC |
MAGOWAN PETER ADirector
|
GrantPhantom Stock Units · Derivative | 114 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000037 · edgar.xml · derivative · entry 2 MAGOWAN PETER A · CIK 0001171799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,555 Underlying: Common · 114 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. F3 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 21:49 UTC |
RUST EDWARD B JRDirector
|
GrantPhantom Stock Units · Derivative | 113 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000041 · edgar.xml · derivative · entry 2 RUST EDWARD B JR · CIK 0001196159 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,925 Underlying: Common · 113 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 21:51 UTC |
WHITE MILES DDirector
|
GrantCommon · Derivative | 56 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000042 · edgar.xml · derivative · entry 2 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56 Underlying: Common · 56 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 21:53 UTC |
DICKINSON DANIEL MDirector
|
GrantPhantom Stock Units · Derivative | 114 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000044 · edgar.xml · derivative · entry 2 DICKINSON DANIEL M · CIK 0001264714 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,033 Underlying: Common · 114 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 21:55 UTC |
POWELL CHARLES DDirector
|
GrantCommon | 28 | $110.36 | $3,090.08 |
DisclosureSEC source: 0000018230-12-000046 · edgar.xml · nonDerivative · entry 1 POWELL CHARLES D · CIK 0001172570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,602 F1 · kind: Stock received in lieu of director's fees. F2 · balance_after: Included in this amount are 813 shares in dividend reinvestment. Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 21:57 UTC |
FIFE EUGENE VDirector
|
GrantCommon | 125 | $110.36 | $13,795.00 |
DisclosureSEC source: 0000018230-12-000048 · edgar.xml · nonDerivative · entry 1 FIFE EUGENE V · CIK 0001029606 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,212 F1 · kind: Stock received in lieu of director's fees. Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 21:59 UTC |
GOODE DAVID RDirector
|
GrantPhantom Stock Units · Derivative | 128 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000050 · edgar.xml · derivative · entry 3 GOODE DAVID R · CIK 0001171794 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,327 Underlying: Common · 128 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 22:00 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 113 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000052 · edgar.xml · derivative · entry 2 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,126 Underlying: Common · 113 shares Expires not disclosed F1 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F2 · derivative.exercise_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. F2 · derivative.expiration_date: The phantom stock units were accrued under the Caterpillar Inc. director's deferred compensation plan and are to be settled 100% in cash upon the reporting person's retirement. The stock was acquired in January 2012 at a price of $110.36 per share. Read SEC document |
| January 31, 2012 Filed Feb 1, 2012 22:02 UTC |
LAVIN RICHARD PGroup President
|
GrantPhantom Stock Units · Derivative | 36 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-12-000054 · edgar.xml · derivative · entry 3 LAVIN RICHARD P · CIK 0001171774 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,074 Underlying: Common · 36 shares Expires not disclosed F2 · derivative.exercise_price: Security converts to common stock on a one-for-one basis. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. deferred employee investment plan and will be settled upon the reporting person's retirement or separation from service. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:41 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionEmployee Stock Option · Derivative | 40,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-12-000056 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,000 Underlying: Common · 40,000 shares Expires 2012-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:41 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Tax withholdingCommon | 21,960 | $110.36 | $2,423,505.60 |
DisclosureSEC source: 0000018230-12-000056 · edgar.xml · nonDerivative · entry 2 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,850 F1 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:41 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionCommon | 40,000 | $25.36 | $1,014,300.00 |
DisclosureSEC source: 0000018230-12-000056 · edgar.xml · nonDerivative · entry 1 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,818 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amount includes 28,722 shares in 401K and 7748 shares in dividend reinvestment. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:43 UTC |
OSBORN WILLIAM ADirector
|
Exercise / conversionEmployee Stock Option · Derivative | 8,000 | $0.00 Strike: $40.64 | $0.00 |
DisclosureSEC source: 0000018230-12-000058 · edgar.xml · derivative · entry 2 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 8,000 shares Expires 2014-04-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:43 UTC |
OSBORN WILLIAM ADirector
|
Exercise / conversionCommon | 8,000 | $40.64 | $325,080.00 |
DisclosureSEC source: 0000018230-12-000058 · edgar.xml · nonDerivative · entry 1 OSBORN WILLIAM A · CIK 0001171797 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,726 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amount includes 225 shares in dividend reinvestment. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:54 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 126,000 | $0.00 Strike: $38.63 | $0.00 |
DisclosureSEC source: 0000018230-12-000060 · edgar.xml · derivative · entry 4 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common · 126,000 shares Expires 2014-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: Right to buy with tandem tax withholding rights. F4 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:54 UTC |
WUNNING STEVEN HGroup President
|
SaleCommon | 126,000 | $111.09 | $13,997,881.80 |
DisclosureSEC source: 0000018230-12-000060 · edgar.xml · nonDerivative · entry 2 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,863 F1 · balance_after: This amount includes 24,698 shares in 401K. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 14:54 UTC |
WUNNING STEVEN HGroup President
|
Exercise / conversionCommon | 126,000 | $38.63 | $4,867,065.00 |
DisclosureSEC source: 0000018230-12-000060 · edgar.xml · nonDerivative · entry 1 WUNNING STEVEN H · CIK 0001171788 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,863 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: This amount includes 24,698 shares in 401K. Read SEC document |
| January 17, 2012 Filed Jan 19, 2012 21:14 UTC |
OBERHELMAN DOUGLAS RDirector · CEO & Chairman of the Board
|
Exercise / conversionEmployee Stock Option · Derivative | 40,000 | $0.00 Strike: $25.36 | $0.00 |
DisclosureSEC source: 0000018230-12-000028 · edgar.xml · derivative · entry 3 OBERHELMAN DOUGLAS R · CIK 0001171770 · Director · CEO & Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,000 Underlying: Common · 40,000 shares Expires 2012-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Right to buy with tandem tax withholding rights. F3 · derivative.exercise_date: Exercisable in thirds beginning 1 year after the initial grant date. (1/3 after one year; 1/3 after two years; 1/3 after three years). Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.